Broker-Dealers

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Royal Alliance Acquires Affiliated Advisors Group

by FA Staff

Affiliated Advisors Group is a full service broker-dealer with 33 advisors that manages approximately $600 million in assets.

Google Hires Morgan Stanley Exec As CFO

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Google Inc. said it hired Ruth Porat, Morgan Stanley’s chief financial officer, to succeed Patrick Pichette as its new CFO in May.

SEC’s Plan On Broker Rules Has Both Sides Cheering, Jockeying

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When SEC Chair Mary Jo White backed tighter rules for brokers last week, her words were greeted with cheers, oddly, by both supporters and opponents of the controversial plan.

Foothill Securities Adds $1 Billion Firm To Platform

by FA Staff

San Ramon, Calif.-based California Financial Advisors has joined the advisor-owned broker-dealer’s platform.

Eyeing Retirement, 67-Year-Old Broker Leaves Morgan Stanley For Independent

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The broker is one of a growing number finding they can make more money, save on taxes and choose their successor if they take their clients to an independent firm before they retire.

Advisor Gets Chance To Live Because Of Co-Workers' Extraordinary Efforts

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A 48-year-old co-founder and managing director of an RIA firm is scheduled to receive a bone marrow transplant that may save his life.

Head Of Ameriprise's Advisor Group To Leave Post

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Don Froude, president of The Personal Advisers Group for Ameriprise, is stepping down from the position and will focus on field initiatives and other projects.

Wall St. Bonuses Rise; Industry Adds Jobs For First Time Since 2011

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The average bonus on Wall Street edged higher last year, and the industry added jobs for the first time since 2011 even as profits in the securities sector fell, New York state's budget watchdog said...

J.P. Morgan Faces Suit Over Power Market Manipulation Claims

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A class action lawsuit has been filed against J.P. Morgan Chase & Co, the largest U.S. bank by assets, alleging it engaged in racketeering and manipulation of California's electricity market.

Broker Business Seeks Wedge Against White House Bid To Pare Fees

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There’s a gap between the White House and Wall Street’s main regulator over a push to tighten broker rules. To the investment industry, it’s an opening to exploit.

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